Administrative Law Judge Initial Decisions for 2009 and 2010
January 2009 - December 2010
This file contains the respondents, release number, release date, and the url of the initial decisions issued by administrative law judges that contains findings of fact, legal conclusions, and an order that often contains a sanction. These initial decisions follow hearings on allegations of securities law violations initiated in most cases by the Commission’s Division of Enforcement.
This file contains the following data fields:
|Location of the initial decision on the SEC web site
|Release Number of the initial decision
|Release Date of the initial decision
|Respondents of the initial decision